Zachary David Swaffer

Employer firm

Modern Wealth Management, LLC CRD 324624

$10.9B regulatory AUM 5 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Periodicals / newsletters
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2018 → 12/2021
  Trilogy Capital
  Huntington Beach, CA
• 07/2018 → 01/2022
  Trilogy Financial
  Denver, CO
• 01/2017 → 04/2018
  Chemical Financial Corporation
  Grand Rapids, MI
• 05/2011 → 01/2017
  Mission Management
  Traverse City, MI
• 01/2022 → 04/2026
  Brown And Company
  Denver, CO
• 01/2022 → 04/2026
  Lpl Financial Llc
  Denver, CO
• 04/2026 → Present
  Modern Wealth Management, Llc
  Denver, CO

Previous Registrations

• 2022-01-18 → 2026-04-29
  Lpl Financial Llc
  Denver, CO
  Thornton, CO
• 2018-07-25 → 2022-01-05
  Trilogy Capital, Inc.
  Denver, CO
  Irvine, CA

Other Businesses

1) Zachary Swaffer - Not Investment Related - Home Based - Business Owner - Sells rocks and crystals at local shows - Start Date: 01/01/2022 - 0 Hours During Securities Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  2022-02-04
• S65 Uniform Investment Adviser Law Examination
  2018-07-25

Designations

• Certified Financial Planner